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Results: 1-10 of 2,518

The floodgates are open: second whistleblower award sparks speculation over what's next

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • June 18 2013

Last week, the Securities and Exchange Commission (SEC) issued an order awarding three whistleblower awards to tipsters who helped the SEC with its

Don't put potential whistleblowers on ice

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • June 18 2013

It's more important than ever to investigate and evaluate the complaints of employee whistleblowers. After nearly a year since the first monetary

Federal authorities announce more charges in broker-dealer foreign bribery case

  • BuckleySandler LLP
  • -
  • USA
  • -
  • June 17 2013

On June 12, the DOJ and the SEC announced additional charges in a previously announced case against employees of a U.S. broker-dealer related to an

Federal authorities announce more charges in broker-dealer foreign bribery case

  • BuckleySandler LLP
  • -
  • USA
  • -
  • June 17 2013

On June 12, the DOJ and the SEC announced additional charges in a previously announced case against employees of a U.S. broker-dealer related to an

FTC issues new Red Flags Rule guidance

  • Hogan Lovells
  • -
  • USA
  • -
  • June 17 2013

The Federal Trade Commission ("FTC") recently issued a revised guidance ("Guide") on the Red Flags Rule ("Rule") (see "Fighting Identity Theft with

This week in securities litigation (week ending June 14, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 14 2013

The Commission filed a settled action alleging fraud in connection with a going private transaction based on Exchange Act Section 13(e). The agency

Fund directors, SEC settle after two of three claimed violations are dropped

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 14 2013

The Commission settled with eight mutual fund directors regarding the procedures used in the valuation of certain assets after months of litigation

SOX and whistleblowers - any fraud will do

  • Morvillo Abramowitz Grand Iason & Anello PC
  • -
  • USA
  • -
  • June 13 2013

Section 806 of the Sarbanes-Oxley Act ("SOX") prohibits publicly-traded companies from retaliating against employees who report various acts of

Court of Appeals reinstates insurance coverage claim for disgorgement

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • June 13 2013

In a decision issued on June 11, the New York Court of Appeals reversed the Appellate Division's dismissal of J.P. Morgan's lawsuit against its

SEC awards and denies whistleblower claims in hedge fund case

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • June 12 2013

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D

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